contract preparation forms (cpf) and explanatory notes for

European Commission

THE SIXTH FRAMEWORK PROGRAMMEThe Sixth Framework Programme covers Communityactivities in the field of research, technological developmentand demonstration (RTD) for the period 2002 to 2006

Contract PreparationForms (CPF)

and explanatory notes

for

Specific Support Actions(SSA)

July 2003 Version II

Contract Preparation FormsEUROPEAN COMMISSION

6th Framework Programme onResearch, TechnologicalDevelopment and Demonstration

Specific SupportAction A1

Proposal Number1 Proposal Acronym2

GENERAL INFORMATION ON THE PROPOSAL

Proposal Title3

Duration in months4 Call (part) identifier5

Activity code(s) mostrelevant to your topic6

Keyword code 17 Keyword code 27

Keyword code 37

Freekeywords8

Abstract9 (max. 2000 char.)



SpecificSupportAction A2a

Proposal Number1 Proposal Acronym2 Participant number 34

INFORMATION ON PARTICIPANTS 1 OF 3 (ONE FORM PER PARTICIPANT)Participating organisationOrganisation legal name10

Organisation short name11

Legal addressPO Box12 Postal Code Cedex12

Street name and number12

Town Country13

Internet homepage

Legal registration number14 VAT number15

If necessary, legal trade register16

Activity Type18 HE, RES, IND, OTHLegal status19

Is your organisation governmental or “private”20? (GOV/PRIV)If your organisation is governmental, is it an international (intergovernmental) or a nationalgovernmental organisation24? (INO/NAO)If your organisation is an international governmental organisation, is it an international Europeaninterest organisation25? (YES/NO)If your organisation is “private”, is it a public body23? (YES/NO)If your organisation is “private” and is not a public body, is its participation guaranteed by aMember State or an Associated State? (YES/NO)Is your organisation commercial (i.e. engaged in an economic activity) or non-commercial21?(C/NC)If your organisation is “private” commercial, please specify the type22 17

If your organisation is “private” commercial, please complete the following tableAnnualturnover (ineuro)

Number ofemployees

Balance sheet total(in euro) Year

Is your organisation controlled by 25% or more by one or several legal entity(ies)?) 26 (YES/NO)

Is your organisation an SMEs (Industrial) Association/Grouping28? (YES/NO)

Cost model: Full Costs(FC), Full cost flat rate (FCF), Additional Costs (AC)40

Are there dependencies between your organisation and (an)other participant(s) in theproposal?27 (YES / No)

If yes, participant number If yes, organisationshort name



Total R&D expenditure (in euro) Number of R&D personnelNumber of researchers and engineers Female Male



SpecificSupport Action A2b


INFORMATION ON PARTICIPANTS 2 OF 3 (ONE FORM PER PARTICIPANT)Administrative official authorised to sign the contractName First name(s)Title30 Position31 Sex32: Female = F, Male = MPhone33 Fax33

e-mailSecond administrative official authorised to sign the contractName First name(s)Title30 Position31 Sex32: Female = F, Male = MPhone33 Fax33

e-mail

Main department/faculty/institute/laboratory carrying out the work29

Department/Faculty/Institute/Laboratory nameAddress (if different from legal address)PO Box12 Postal Code Cedex12


Town Country13

Authorised contact person / Team Leader 35

Name First name(s)Title30 Position31 Sex32: Female = F, Male = MPhone33 Fax33

Email

Other major department/faculty/institute/laboratory carrying out the work (if necessary) 29

Department/Faculty/Institute/Laboratory nameAddress (if different from legal address)PO Box12 Postal Code Cedex12


Town Country13

Previously submitted similar proposals or signed contracts?36 (YES / NO)If yes, programme name(s) and yearIf yes, proposal or contract number(s)

-----------------------------------------------------------------------------------------------------------------------------Optional section: If requested during negotiation, please complete the following table:Does your project include socio-economic research activities37? (YES/NO)If Yes, what is the estimated allocated total cost of resources and means that address theseactivities38? (in euro)Does your project include foresight methods? (YES/NO)How many person months of the tasks in this project are allocated to scientists with a prevailingeducational background in social, economic and/or human sciences?



Specific SupportAction A2c


INFORMATION ON PARTICIPANTS 3 OF 3 (ONE FORM PER PARTICIPANT)

Certified Declaration by each participant (including the coordinator - participant n°1)I certify that the information relating to our organisation set out in forms A2, A3 and A5 is accurate and correct, that theestimated costs meet the criteria for eligible costs for FP6 projects, as established by the EC contract and our normal costaccounting principles, and that they reflect the estimated costs expected to be incurred in carrying out the work described inAnnex I (description of work).

I also certify that

Organisation legal name10

is committed to participate in the above mentioned project;a) has stable and sufficient sources of funding to maintain its activity throughout its participation in the project and to provide

any counterpart funding necessary.b) has or will have the resources as and when needed to carry out its involvement in the above mentioned project.

As required by Article 93 of Council Regulation (EC, Euratom) N° 1605/2002 of 25 June 2002 on the Financial Regulationapplicable to the general budget of the European Communities [OJ L248, 16.09.2002, p. 1], I certify that none of the followingcases apply to our organisation:a) it is bankrupt or being wound up, is having its affairs administered by the courts, has entered into an arrangement with

creditors, has suspended business activities, is the subject of proceedings concerning those matters, or is in anyanalogous situation arising from a similar procedure provided for in national legislation or regulations;

b) it has been convicted of an offence concerning its professional conduct by a judgement which has the force of resjudicata;

c) it has been guilty of grave professional misconduct proven by any means which the contracting authority can justify;d) it has not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance

with the legal provisions of the country in which it is established or with those of the country of the contracting authority orthose of the country where the contract is to be performed;

e) it has been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminalorganisation or any other illegal activity detrimental to the Communities' financial interests;

f) following another procurement procedure or grant award procedure financed by the Community budget, it has beendeclared to be in serious breach of contract for failure to comply with its contractual obligations.

I understand that any potential contractor who has committed an irregularity in the implementation of any other indirect actionmay be excluded from the selection procedure at any time, with due regard being given to the principle of proportionality (asprovided for in Article 10.5 of the Rules for participation and dissemination of results of the Sixth Framework Programmes).

Name39 First name (s)

DateDD/MM/YYYY

Signature of the administrative officialauthorised to sign the contract or tocommit the organisation

The participant organisation is aware that:

a) any potential contractor who can not certify that none of the above situations apply, shall be excluded from participation inany future contract;

b) any potential contractor having been found guilty of misrepresentation in supplying the information required as a conditionfor participation in the contract or failing to supply such information shall be excluded from participation in any futurecontract;

Only for non-public bodies: Legal documents establishing the organisation are attached YES/NOIf NO, date (dd/mm/yyyy) and Commission programme name for deliveryof legal documents during last six months or confirmation that theinformation provided more than six months ago has not changed (and thedate and name of Commission programme to which information wasprovided)


6th Framework Programme forResearch, TechnologicalDevelopment and Demonstration

Specific SupportAction A3.1


Financial information – whole duration of the projectCosts and EC contribution per type of

activities40Participant n°

Organi-sationshortname

Costmodelused

Estimated eligible costs andrequested EC contribution

(whole duration of the project) Specific activities41 (1)ConsortiumManagementactivities42 (2)

Total(3)=(1)+(2) Total

receipts40

Direct costs (a)of which subcontractingIndirect costs (b)

Eligiblecosts

Total eligible costs (a)+(b)Requested EC contribution


Eligiblecosts



Eligiblecosts



Eligiblecosts

Total eligible costs (a)+(b)Requested EC contributionEligible costs

TOTAL43Requested EC contribution

Please use as many copies of form A3.1 as necessary for the number of participants Form A3.1 page of


6th Framework Programme forResearch, TechnologicalDevelopment and Demonstration

Specific SupportAction A3.2


Estimated breakdown of the EC contribution per reporting periodEstimated Grant to the BudgetReporting Periods Start month End month Total In which first six months

Reporting Period 1 1Reporting Period 2Reporting Period 3Reporting Period 4Reporting Period 5Reporting Period 6Reporting Period 7





Co-ordinator's Banking informationAccount holderAccount holder legal name10

Account holder legal addressPO Box12 Postal Code Cedex12


Town Country13

VAT number15

Contact person of the account holderName First name(s)Phone33 Fax33

e-mail

Bank nameBranch addressPostal Code Cedex12


Town Country13

Structure of bank accountBelgique/België - -DanmarkDeutschlandGreeceEspañaFranceIreland/UKItalia*Luxembourg*NederlandNorwayÖsterreichPortugalSuomi/FinlandSverige

NORDBANKEN

Other CountriesIBAN (if appl.) *obligatory for IT, LU

We certify that above information declared is complete and true.

BANK STAMP + SIGNATURE BANK REPRESENTATIVE DATE + SIGNATURE ACCOUNT HOLDER(both obligatory) (Obligatory)





Confirmation of additional financial information annexed to the contract preparation formsFor the coordinator (information is obligatory, except for public bodies23 and for contractors whose

participation is guaranteed by a Member State/Associated State):Audited financial accounts for the last three full financial years (certified profit and loss accounts +balance sheets) YES/NOFinancial information for the last full financial year in the format enclosed in Form A6 YES/NO

For contractors other than the coordinator (information obligatory under certain circumstances44)Participant number of contractor concernedAudited financial accounts for the last three full financial years (certified profit and loss accounts +balance sheets) YES/NOFinancial information for the last full financial year in the format enclosed in Form A6 YES/NOIf the answer to the above two questions is NO, Commissionprogramme name and contract number to which the informationhas been supplied in the last 12 months

Certified declaration by the coordinator (participant n°1)

I certify that the information set out in forms A1, A3, A4 and A5 is accurate and correct and agreed by all contractors (ifapplicable). I also confirm that our organisation is committed to participate to the above-mentioned project and to act ascoordinator for the project.

Name39 First name (s)

DateDD/MM/YYYY

Signature of the administrative officialauthorised to sign the contract or tocommit the organisation





Simplified balance sheet and profit and loss account45

Closing date46

t0 (dd/mm/yyyy)Duration46 t0(months)

Closing date46 t-1(dd/mm/yyyy)

Duration46

t-1 (months)Less than three annual balance sheets YES/NO Currency

Balance sheetAssets t0 t-1

1. Subscribed capital unpaid2. Fixed assets (2.1+2.2+2.3)2.1 Intangible fixed assets2.2 Tangible fixed assets2.3 Financial assets3. Current assets (3.1+3.21+3.22+3.3+3.4)3.1 Stocks3.2.1 Debtors due within one year3.2.2 Debtors due after one year3.3 Cash at bank and in hand3.4 Other current assetsTotal assets (1.+2.+3.)

Liabilities t0 t-14. Capital and reserves (4.1+4.2+4.3+4.4)4.1 Subscribed capital4.2 Reserves4.3 Profit and loss brought forward4.4 Profit and loss brought forward for the financial5. Creditors (5.1.1+5.1.2+5.2.1+5.2.2)5.1.1 Long term non-bank debt5.1.2 Long term bank debt5.2.1 Short term non-bank debt5.2.2 Short term bank debtTotal liabilities (4.+5.)

Profit and losst0 t-1

6. Turnover7. Variation in stocks8. Other operating income9. Costs of material and consumables10. Other operating charges11. Staff costs12. Gross operating profit (6.+7.+8.-9.-10.-11.)13. Depreciation and value adjustments on non-financial assets14. Net operating profit (12.-13.)15. Financial income and value adjustments on financial assets16. Interest paid17. Similar charges18. Profit/loss on ordinary activities (14.+15.-16.-17.)19. Extraordinary income and charges20. Taxes on profits21. Profit/loss for the financial year (18.+19.-20.)

How to complete the contract preparation forms

Introduction

This document provides guidance on how to complete the attached administrative forms. Moreinformation useful for negotiating and managing a contract can be found in the FP6 FinancialGuidelines (see http://europa.eu.int/comm/research/fp6/working-groups/model-contract/index_en.html) and in the FP6 Negotiation Guidance Notes (seehttp://www.cordis.lu/fp6/contractpreparation).

The contract preparation forms will be an integral part (‘Part A’) of your contract negotiationdocuments for a Specific Support Action. Forms can be pre-filled with information from yourproposal. Modifications are possible for most of the fields. It is recommended to prepare andsend the contract preparation forms electronically, using a software tool provided by theCommission (CPF Editor). In addition a paper copy with original signatures has to be sent tothe Commission officer indicated in the letter opening the negotiation.

How to complete the forms

• The coordinator fills in forms A1, A3.1, A3.2, A4 and A5• The contractors (including the coordinator) fill in one A2a, one A2b and one A2c form each• Some contractors, to be identified in form A5, fill in form A6 (see note 44)

Subcontractors are not required to fill in forms.

Signatures

Draft versions of the contract preparation forms, serving as starting point for the negotiation,can be sent to the Commission electronically, i.e. without original signatures. The final versionof the contract preparation forms agreed at the end of the negotiations with the Commission hasto be signed in the following way:

• For each contractor (including the coordinator), one of the three persons indicated in formA2b signs the A2c form; the person signing must be entitled to legally commit his/herorganisation.

• For the coordinator, one of the three persons indicated in form A2b signs the A5 form,certifying the honorary declaration preceding the signature field. This means, thecoordinator has to sign twice: as a participant like all the others on its A2c form and as thecoordinator on form A5. The person signing must be entitled to legally commit his/herorganisation.

Electronic CPF editor

For completing the forms, the CPF editor for your proposal will be available for download at aCommission website with the contract preparation forms pre-filled with data from yourproposal. Details are explained in the letter to start negotiation.

Filling paper forms

Please keep forms A1 to A6 as clean as possible and do not fold, staple or amend them withcorrection fluid. Enter your data only in the white space on the forms, and do not type outsidethe boundaries or use more characters than the maximum indicated for certain fields as the datathen may be truncated in the Commission’s database. In particular in forms A3.1, A3.2, donot add any lines or columns to the cost tables. Use additional copies of the A3 sheets ifthere are more participants than the number of lines allows for.

For questions requiring a choice between different boxes, please enter X in the appropriatespace. In case of paper submission, you may find it easier to do this by hand in black ink, ratherthan try to line up a single typed character. For numbers, (amount, duration, etc.), please roundto the nearest whole number. Do not insert any character or space to separate the digits in anumber. Please remember to indicate the proposal acronym and proposal number in all sheetsof the forms (part A) where indicated, and on every page of the other parts, including anyannexes. All costs must be given in € (euro) (and not kilo € (euro)) and must exclude value-added tax (VAT).

In addition to the administrative information provided in the forms (part A), contractpreparation documents must also contain a part B, describing the content and themanagement of your proposed project. The layout and structure of part B are describedin the Negotiation Guidelines. The final part B will become the Annex I of the contract(the Description of Work).

Moreover, under certain circumstances, financial documents on contractors have to beannexed as listed in form A5 (see also note 44).

1 Proposal numberThe proposal number has been assigned by the Commission as the unique identifier for yourproject. It cannot be changed. The proposal number should appear on each page of thecontract preparation documents (part A and part B) to prevent errors during its handling.

2 Proposal acronymUse the proposal acronym as given in the submitted proposal. It cannot be changed unlessagreed so during the negotiations. The same acronym should appear on each page of thecontract preparation documents (part A and part B) to prevent errors during its handling.

3 Proposal TitleUse the title (no longer than 200 characters) as given in the submitted proposal. Minorcorrections are possible if agreed so during the negotiation. It should be understandable also tothe non-specialist in your field.

4 DurationInsert the estimated duration of the project in full months. Deviations from the duration in theoriginal proposal must be justified in part B.

5 Call (part) identifierThe call (part) identifier is the reference number given in the call or part of the call you wereaddressing, as indicated in the publication of the call in the Official Journal of the EuropeanUnion. You have to use the identifier given by the Commission in the letter opening thenegotiation.

If your proposal was not submitted within the scope of a call for proposals, insert “-”.

6 Activity code(s) most relevant to your topicUse as the first activity code the one set out in the letter opening the negotiation followed bythe code(s) given in your proposal – if any. Changes are possible in case of material errors (forthe list see http://www.cordis.lu/fp6/activitycodes).

7 Keyword codes from thesaurusUse the codes from your original proposal. Changes are possible (see hierarchical list availableat http://www.cordis.lu/fp6/keywords.)If your proposal was not submitted within the scope of a call for proposals, insert “-”.

8 Free keywordsUse the free keywords from your original proposal. Changes and additions are possible.(maximum 100 characters including spaces, commas etc.).

9 AbstractUse the abstract from your original proposal. Changes are possible.

You should not use more than 2,000 characters. The abstract should, at a glance, provide thereader with a clear understanding of the objectives of the proposal and how the objectives willbe achieved, and their relevance in the context of the objectives of the specific programme andthe work programme. This summary will be used as the short description of the project for thepublic following contract signature and in communications to the programme managementcommittees and other interested parties. It must therefore be short and precise and should notcontain confidential information. Please use plain typed text, avoiding formulae and otherspecial characters. If the proposal is written in a language other than English, please include anEnglish version of the abstract in part B.

10 Organisation legal nameOfficial name of participant organisation. If applicable, name under which the participant isregistered in the official trade registers.

11 Organisation short nameThe short name chosen by the participant for this proposal. This should normally not be morethan 20 characters and the same should be used for the participant in all documents relating tothe proposal.

12 Address dataFill in only the fields forming your complete postal address . If your address is specified by anindicator of location other than a street name and number, please insert this instead.

13 CountryInsert the name of the country as commonly used.

14 Legal registration numberIf applicable, insert the organisation's legal national registration number.

15 VAT numberIf applicable, insert the organisation's Value Added Tax (VAT) number from the VAT register.

16 Legal trade registerIf necessary to obtain a complete identification of your organisation, insert code of the legaltrade register, e.g. the Chambers of Commerce register or the business register.

17 European Economic Interest Group (EEIG) or other legal entitymade up of several independent legal entities

The EEIG is a flexible and light transnational structure, which enables its members to interlinksome of their economic activities while retaining their economic and legal independence. Theformation of an EEIG gives rise to an independent legal entity with legal capacity, eligible topropose as a single participant if the members fulfil the minimum consortium criterion. If aparticipant has the legal status of an EEIG or a similar legal entity made up of severalindependent legal entities, a document on the composition has to be added to part B of thecontract preparation documents, in order to allow the Commission to check the eligibilitycriterion of the minimum consortium (see Evaluation Manual and call text).

18 Activity TypePlease insert the abbreviation for the activity type most appropriate to the organisation (onlyone), according to the following explanations:

− HE-Higher Education: organisations only or mainly established for highereducation/training, e. g. universities, colleges

− RES-Research: organisations only or mainly established for carrying out research activities− IND-Industry: industrial organisations private and public, both manufacturing and

industrial services – such as industrial software, design, control, repair, maintenance;− OTH-Others: Organisations not fitting in one of the above categories

19 Legal StatusThe legal status of contractors in FP6 has to be characterised in several aspects, which aresummarized in the set of questions:

Governmental or private?Commercial or non-commercial?

In addition:

• private organisations have to specify if they are public bodies in the sense of the FP6 rulesfor participation;

• governmental organisations have to specify if they are international (i.e. intergovernmental)or national; if they are international they have to further specify if they are internationalEuropean Interest organisations

• private commercial organisations have to specify the exact type (e.g. SA, Ltd., GmbH,physical person).

The complete legal status will be deduced from the replies to the set of questions. Thus, thecombinations reflected in the following overview are, in principle, possible:

Legal entityGovernmental Private

Commercial Non-commercial Commercial Non-commercial

National

International(EuropeaninterestYes/No)

National

International(EuropeaninterestYes/No)

Public body Non-publicbody Public body Non-public

body

20 Governmental or private organisationA governmental organisation is one owned by the state and/or acts on behalf of and representsthe state or whose legal personality cannot be distinguished from the state. A privateorganisation is one whose legal personality is independent from the state (or any organ of thatstate) in which it is established.

Please insert “GOV” for governmental or “PRIV” for private, as applicable.

21 Commercial or non-commercial organisationA commercial organisation is any legal entity engaged in an economic activity. This includesthose whose primary activity is industry, trade or provision of services with a view togenerating a revenue, either in order to distribute it to its shareholders or owners (profit makingorganisations) or to use it in the implementation of its activities (non-profit makingorganisations like foundations or associations)A non-commercial organisation is one which is not commercial.

Please insert “C” for commercial or “NC” for non-commercial, as applicable.

22 Type of private commercial organisationIf you are a private commercial organisation, please indicate the exact type of organisation(e.g.: SA, Ltd., GmbH, AG, EEIG or other entity made up of several independent legal entities(see note 17), physical person, foundations, associations etc.).

23 Public bodyIn the sense of the FP6 participation rules, a public body is a public sector body or a legal entitygoverned by private law with a public service mission providing adequate financial guarantees.Please insert “YES” or “NO”, as applicable to your organisation.

Governmental organisations are public bodies by definition. These should insert ” - “.

24 National or international governmental organisationsGovernmental organisations can be national or international (i.e. intergovernmental, such asESA, CERN, EMBL). Please insert “NAO” for national or “INO” for internationalorganisation.

The question is not applicable to private organisations. These should insert “ – “.(multinational private companies or international private non-profit organisations are notregarded as international organisations in the above sense).

25 International European Interest OrganisationThese are international organisations (INO, see note 24), the majority of whose members areEuropean Union Member States or Associated States, and whose principal objective is topromote European scientific and technological co-operation

26 Independence of an organisation (SME Criteria)In compliance with the Commission Recommendation 96/280/EC [ OJ L 107, 30.4.1996, p. 4.]relating to the definition of an SME, your answer to this question will be:

NO:• if your organisation is not owned as to 25% or more of the capital or the voting rights by

one enterprise, or jointly by several enterprises, falling outside the definition of an SME;or• if your organisation is held by public investment corporations, venture capital

companies or institutional investors, provided no control is exercised either individually orjointly ;

or• if the capital of your organisation is spread in such a way that it is not possible todetermine by whom it is held and if your organisation declares that it can legitimately presumethat it is not owned as to 25 % or more by one enterprise, or jointly by several enterprises,falling outside the definitions of an SME or a small enterprise, whichever may apply

or• if your organisation controls 25% or more of the capital or of the voting rights of other

enterprises and/or if your organisation is owned as to 25% or more of your capital or votingrights by one enterprise or jointly by several enterprises, and if by cumulating the data ofyour organisation and these enterprises, the following figures are not exceeded:• number of personnel: fewer than 250 employees (annual working units).• either annual turnover: not exceeding € 40 million ; or annual balance-sheet total: not

exceeding € 27 million.

YES: in any other cases.

27 Dependencies between participantsTwo participants (legal entities) are dependent on each other where there is a controllingrelationship between them.

To be regarded as independent, a legal entity must not be in a controlling relationship withanother legal entity. A controlling relationship shall exist where one legal entity directly orindirectly controls the other or one legal entity is under the same direct or indirect control as theother.

Legal entity A controls legal entity B if:

− A, directly or indirectly, holds more than 50% of the share capital or a majority of votingrights of the shareholders or associates of B,

or− A, directly or indirectly, holds in fact or in law the decision-making power in B

Direct or indirect holding of more than 50% of the nominal value of the issued share capital ina legal entity or a majority of voting rights of the shareholders or associates of the said entity bypublic investment corporations, institutional investors or venture-capital companies and fundsshall not in itself constitute a controlling relationship.

Ownership or supervision of legal entities by the same public body shall not in itself give riseto a controlling relationship between them.

28 SMEs (Industrial) Association/GroupingIndustrial Associations/Groupings are enterprise groupings, meaning any legal entity made up,directly or indirectly, for the most part of SMEs and representing their interests. Examples ofthese are sectoral industrial associations, regional industrial associations, chambers ofcommerce, etc.

29 Department/faculty/institute/laboratory carrying out the workIf in bigger organisations the legal address of the legal entity is different from the address(es) ofthe organisational unit(s) carrying out the project, please indicate here the address(es) of theorganisational unit(s) involved. The address of the “main department” should be the address ofthe “Authorised contact person” in form A2b.

30 TitlePlease choose one of the following: Prof., Dr., Mr., Ms.

31 PositionPlease indicate the position in your organisation eg. Rector, President, Chief Executive Officer,Director etc.

32 SexThis information is required for statistical purposes. Please indicate with an F for female or anM for male as appropriate.

33 Phone and fax numbersPlease insert the full numbers including country and city/area code. Example +32-2-2991111.

34 Participant numberThe number allocated by the consortium to the participant for this proposal. The coordinatorof a proposal is always number one.

35 Authorised contact personPlease insert in this section the data of the main scientist or team leader in charge of theproposal for the participant. For participant number 1 (the coordinator), this will be the regularcontact for the Commission concerning all issues of implementation of the contract.

The address of this person should be the one of the “Maindepartment/faculty/institute/laboratory carrying out the work” in form A2b.

36 Previously submitted similar proposals or signed contractsIf one or several of the participants have submitted or are in the process of submitting the sameor a similar proposal to other public funding programmes insert YES, else NO. If yes, give theprogramme name, year of submission and proposal number or contract number.

37 Socio-economic research activitiesAny type of non technological related activity research that analysis « a posteriori » or « apriori » (or contribute to such analysis) the socio-economic impact or the potential to inducechanges in societal and/or economic values, in the organisation and welfare of society forexample through changes in the overall availability of economic resources. This approachtherefore includes on one side, any type of socio-economic research including theunderstanding of societal and economic phenomena (research in social sciences andhumanities) and on the other side any type of activity involving scientific with a specificbackground in social, political sciences or in economy (discipline approach).

38 Estimated allocated total cost of resources and means addressing socio-economic research activities

Estimated allocated total cost of resources and means addressing socio-economic researchactivities covers:- estimated direct and indirect eligible costs of contractors using the AC, FCF and FC costmodel; and- estimated costs of the resources employed on the project by contractors using the AC costmodel which are not eligible for Community financial contribution (ie: recurring or nonadditional costs).

39 Name of the person signingThe final version of the contract preparation forms agreed at the end of the negotiations mustbe signed (A2c by each contractor, A5 by the coordinator) by one of the three persons whosedetails have been completed in form A2b, i.e. either by the authorised contact person or by thefirst or the second administrative official authorised to sign the contract. Please insert the nameof the person who is actually signing. The person signing must be entitled to legally commithis/her organisation.

40 Requested grant to the budget and cost modelsThe Community grant requested for a proposal depends on the cost model applicable to eachparticipant, on the maximum rate of reimbursement per type of activity and on the estimatedeligible costs for the different activities. For the purpose of contract negotiation, direct andindirect costs as well as receipts to the project have to be broken down by type of activity andby participant. There are no pre-defined cost categories. In establishing their budgetparticipants should follow their own accounting rules.

Maximum contributions by activity type as percentage of the respective costs are as follows:

Maximum grant as percentage offull costs (participants applyingthe FC or FCF model)

Maximum grant aspercentage of additionalcosts (participants applyingthe AC model)

Specific activities (seenote 41) 100% 100%

Consortium management 100% (up to a maximum 100% (up to a maximum

activities ( see note 42) percentage of 7% of theCommunity contribution)

percentage of 7% of theCommunity contribution)

(*)

(*) One derogation to the definition of eligible costs, relates to the costs incurred formanagement activities by contractors using the AC model. They may charge their eligibledirect costs of permanent personnel (non additional) to this activity, on condition that they canidentify and justify them precisely. The flat rate for indirect costs also applies to these eligibledirect costs.

The cost models to be applied by the participants are:

− FC: a full-cost model in which all actual eligible direct and actual eligible indirect costsmay be charged to the contract;

− FCF: a simplified variant of the full-cost model, in which all actual eligible direct costsmay be charged to the contract, together with a flat rate for indirect costs. This flat rate isequal to 20% of all direct eligible costs minus the costs of subcontracts.;

− AC: an additional-cost model, covering all eligible direct costs that are additional to therecurring costs of a participant (with the exception of consortium management for whichrecurring costs would also be eligible), together with a flat rate for indirect costs. This flatrate is equal to 20% of all direct additional costs minus the costs of subcontracts.

Which cost model to use

Which cost model to use depends on the type of legal entity concerned and the accountingsystem:

Cost model Who can use it ?FC - All legal entities except physical personsFCF - Non-commercial or non-profit organisations

- International organisations (like CERN, ESA, EMBL)- Small or Medium-Sized Enterprises (SMEs)

AC - Physical persons (only cost model open to physical persons)- Only non-commercial or non-profit organisations or internationalorganisations not having an accounting system allowing to distinguish theshare of their direct and indirect costs

For Specific Support Actions, a flat rate for indirect costs is applied for all contractorsusing the FC model to calculate the EC contribution. This flat rate is equal to 20% of theeligible direct costs minus the costs of sub-contracts. This means for FC contractors, whencalculating the total costs they use their actual overhead rate, but for calculating the ECcontribution the 20% flat rate is applied.

Each contractor shall apply the same cost model in all contracts established under the SixthFramework Programme. As a derogation to this principle:

• any legal entity which is eligible to opt for the AC model in a first contract can changeto the FCF or the FC model in a later contract (except physical persons). If it does so, itmust then use the new cost reporting model in subsequent contracts;

• any legal entity which is eligible to opt for the FCF model in a first contract can changeto the FC model in a later contract. If it does so, it must then use the new cost reportingmodel in subsequent contracts.

Eligible costs

Eligible costs for FP6 contracts must be:• actual, economic and necessary for the implementation of the project;• determined in accordance with the usual accounting principles of the contractor;• incurred during the duration of the project (except for the costs incurred in drawing up

the final reports, which may be incurred during the period of up to 45 calendar daysafter the end of the project or the date of termination whichever is earlier);

• recorded in the accounts of the contractors (or third parties where third party resourceshave been agreed).

They exclude indirect taxes, interest, provisions for future losses or charges, exchange losses,costs related to other Community projects, return on capital, debt and debt service charges,excessive and reckless expenses and any cost which does not meet the criteria in the first fourbullets.

Receipts

For determining the Community financial contribution, not only costs but also the followingthree kinds of receipts to the project have to be taken into account:

• Financial transfers or their equivalent from third parties that are made specifically to co-finance the project or a resource used by the contractor in the project (not if their use is atthe management discretion of the contractor)

• Contributions in kind from third parties, if they are contributed specifically for the use onthe project (not if their use is at the management discretion of the contractor)

• Income generated by the project (except income generated by the use of knowledge createdin the project)

Participants using the additional cost model (AC):− only charge their additional direct eligible costs that are not covered by any other

contribution (financial contributions or contributions in kind) by third parties− only declare their receipts taking the form of income generated by the project itself.

Details are explained in the FP6 model contract (Annex II, article 23, seehttp://europa.eu.int/comm/research/fp6/working-groups/model-contract/index_en.html) and inthe FP6 Financial Guidelines.

41 Specific activitiesActivities in a Specific Support Actions can comprise:• organisation of conferences, seminars;• performance of studies, analyses, benchmarking, mapping exercises;• assessment and monitoring activities;• dissemination, transfer and broad take-up of programme results;• development of research or innovation strategies;• organisation of high level scientific awards and competitions;• setting up of working groups and expert groups;• operational support;• information and communication activities.

42 Consortium management activitiesProjects will require particular attention by the consortium to overall management and co-ordination issues. Over and above the technical management of individual work packages, anappropriate management framework linking together all the project components and

maintaining communications with the Commission will be needed. Depending on the size andscope of a project, a specially constituted management team with dedicated staff covering arange of skills may need to be set up.

Consortium management activities include:

• obtaining audit certificates by each of the contractors.• implementation of competitive calls by the consortium for the participation of new

contractors, in accordance with the provisions of the contract.• maintenance of the consortium agreement if it is obligatory• obtaining any financial security such as bank guarantees when requested by the

Commission ;• any other management activities at the consortium level not covered by any other activity,

such as:- coordination of the technical activities of the project;- the overall legal, contractual, ethical, financial and administrative management;- coordination of knowledge management and other innovation-related activities;- overseeing the promotion of gender equality in the project;- overseeing science and society issues related to the research activities conducted withinthe project;

• any other management activities foreseen by the annexes of the contract.”

43 TotalOn forms A3.1, insert here the totals per column (sum for all partners). If you use more thanone A3.1 sheet (because the number of partners is bigger than 4), fill in the TOTAL row only inthe last sheet; leaving the row empty on the preceding sheets.

44 Additional financial information on contractorsa) To verify the financial capacity of contractors, in cases where contractors are bound bycollective responsibility and there are non-public bodies participating as contractors theCommission asks regularly for documents as listed in form A5. These documents have to besent together with the contract preparation forms. Contractors concerned can be identified byfollowing the decision tree below.

The consortium consists only of publicbodies and/or organisations whoseparticipation is guaranteed by a MemberState/Associated State

YES⇒

No action

⇓NOAmong the non-public body contractorswhose participation is not guaranteed by aMember State/Associated State, there isone entitled to receive more than 50% ofthe requested EC contribution to all non-public body contractors whose participationis not guaranteed by a MemberState/Associated State

NO⇒

No automatic action, however, theCommission services may request additionalfinancial information, in which case, completeform A6 and attach additional financialinformation required by A5.

⇓YESThe requested EC contribution for thiscontractor exceeds by more than €300,000,50% of the requested EC contribution to allnon-public body contractors whoseparticipation is not guaranteed by a

NO⇒


Member State/Associated State⇓YES

This contractor has already supplied theadditional financial information to theCommission (under one of its policies) inthe last 12 months

YES⇒

Indicate the Commission programme nameand contract number to which theinformation has been supplied

⇓NOComplete form A6. Attach the additionalfinancial information requested in formA5

b) To verify the financial capacity of contractors, in cases where there is NO collectiveresponsibility, the Commission asks regularly for documents as listed in form A5. Thesedocuments have to be sent together with the contract preparation forms. Contractors concernedcan be identified by following the decision tree below.

The consortium consists only of publicbodies and/or organisations whoseparticipation is guaranteed by a MemberState/Associated State

YES⇒

No action (up to the Commission authorisingofficer to determine whether any guaranteesare necessary or can be waived)

⇓NO

The requested EC contribution for any suchcontractor(s) exceeds €300,000.

NO⇒


⇓YESThis contractor has already supplied theadditional financial information to theCommission (under one of its policies) inthe last 12 months

YES⇒

Indicate the Commission programme nameand contract number to which theinformation has been supplied

⇓NOComplete form A6. Attach the additionalfinancial information requested in formA5

In addition, during the negotiation, the Commission may, depending on its analysis ofmanagement risks, request the information listed in form A5 from other participants.

Public bodies need not provide additional financial information.

45 Simplified balance sheet and profit and loss accountForm A6 has to be completed only for the contractors identified in form A5 (see also note 44).Within form A6 financial data based on the company’s balance sheet are collected in astandardised form. A correspondence table giving an explanation on the regrouping of differentaccounts with respect to the 4th Accounting Directive is attached to these notes.

46 t-1and t0The abbreviation t0 represents the last certified historical balance sheet and profit and lossaccount; t-1 is the balance sheet prior to the last certified one. Consequently, the closing date t0is the closing date of the last certified historical balance sheet; the closing date t-1 is the closingdate of the balance sheet prior to the last one. Duration t0 is the number of months covered bythe last historical balance sheet. Duration t-1 is the number of months covered by thepenultimate certified historical balance sheet.

FORM A6BALANCE SHEET CORRESPONDANCE 4th

ACCOUNTING DIRECTIVEASSETS ASSETS / 4th ACCOUNTING

DIRECTIVE (Article 9)1. Subscribed capital unpaid A. Subscribed capital unpaid A. Subscribed capital unpaid (including unpaid capital)

2. Fixed assets C. Fixed Assets2.1. Intangible fixed assets B. Formation expenses as defined

by national lawC. I. Intangible fixed assets

B. Formation expenses as defined by national lawC.I.1. Cost of research and developmentC.I.2.Concessions, patents, licences, trade marks and similar rights and assets, if they were: (a) acquired for valuableconsideration and need not be shown under C (I) (3); or (b) created by the undertaking itselfC.I.3. Goodwill, to the extent that it was acquired for valuable considerationC.I.4. Payments on account

2.2. Tangible fixed assets C.II.Tangible fixed assets C.II.1. Land and buildingsC.II.2. Plant and machineryC.II.3. Other fixtures and fittings, tools and equipmentC.II.4. Payment on account and tangible assets in course of construction

2.3. Financial assets C.III.Financial assets C.III.1.Shares in affiliated undertakingsC.III.2. Loans to affiliated undertakingsC.III.3. Participating interestsC.III.4.Loans to undertakings with which the compagy is linked by virtue of participating interestC.III.5.Investments held as fixed assetsC.III. 6. Other loansC.III.7. Own shares (with an indication of their nominal value or, in the absence of a nominal value, their accounting parvalue)

3. Current assets D. Currents assets3.1. Stocks D.I.Stocks D.I.1. Raw materials and consumables

D.I.2. Work in progressD.I.3. Finished products and goods for resaleD.I.4 Payment on account

3.2.1. Debtors due after oneyear

D.II. Debtors, due and payableafter more than one year

D.II.1. Trade debtorsD.II.2. Amounts owed by affiliated undertakingsD.II.3. Amounts owed by undertakings with which the compagny is linked by virtue of participating interestD.II.4. Others debtorsD.II.6. Prepayments and accrued income

3.2.2. Debtors due within oneyear

D.II. Debtors due and payablewithin a year

D.II.1. Trade debtorsD.II.2. Amounts owed by affiliated undertakingsD.II.3. Amounts owed by undertakings with which the compagny is linked by virtue of participating interestD.II.4. Others debtorsD.II.6. Prepayments and accrued income

3.3. Cash at bank and in hand D.IV. Cash at bank and in hand D.IV. Cash at bank and in hand

3.4. Other current assets D.III Investments D.III.1. Shares in affiliated undertakingsD.III.2.Own shares (with an indication of their nominal value or, in the absence of a nominal value, their accounting parvalue)D.III.3. Other investments

Total assets Total assets

LIABILITIES LIABILITIES / 4th ACCOUNTING DIRECTIVE (Article 9)4. Capital and reserves A. Capital and reserves4.1. Subscribed capital A.I. Subscribed capital

A.II. Share premium accountA.I. Subscribed capitalA.II. Share premium account

4.2. Reserves A.III. Revaluation reserveA.IV. Reserves

A.III. Revaluation reserveA.IV.1. Legal reserve, in so far as national law requires such a reserveA.IV.2. Reserve for own sharesA.IV.3. Reserves provided for by the articles of associationA.IV.4. Other reserves

4.3. Profit and loss broughtforward from the previous years

A.V Profit and loss broughtforward from the previous years

A.V Profit and loss brought forward from the previous years

4.4. Profit and loss for thefinancial year

A.VI. Profit or loss for thefinancial year

A.VI. Profit or loss for the financial year

5. Creditors C. Creditors5.1.1 Long term non-bankdebt

B. Provisions for liabilities andcharges ( > one year)C. Creditors ( > one year)

B.1. Provisions for pensions and similar obligationsB.2. Provisions for taxationB.3. Other provisionsC.1. Debenture loans, showing convertible loans separatelyC.3. Payments received on account of orders in so far as they are not shown separately as deductions from stocksC.4. Trade creditorsC.6. Amounts owed to affiliated undertakingsC.7. Amounts owed to undertakings with which the company is linked by virtue of participating interestsC.8. Other creditors including tax and social securityC.9. Accruals and deferred income

5.2.1. Long term bank debt C. Creditors "credit institutions" (> one year)

C.2. Amounts owed to credit institutionsC.5. Bills of exchange payable

5.1.2. Short term non-bankdebt

B. Provisions for liabilities andcharges (= one year)C. Creditors (= one year)

B.1. Provisions for pensions and similar obligationsB.2. Provisions for taxationB.3. Other provisionsC.1. Debenture loans, showing convertible loans separatelyC.3. Payments received on account of orders in so far as they are not shown separately as deductions from stocksC.4. Trade creditorsC.6. Amounts owed to affiliated undertakingsC.7. Amounts owed to undertakings with which the company is linked by virtue of participating interestsC.8. Other creditors including tax and social securityC.9. Accruals and deferred income

5.2.2. Short term bank debt C. Creditors "credit institutions"(= one year)

C.2. Amounts owed to credit institutionsC.5. Bills of exchange payable

Total liabilities Total Liabilities

PROFIT AND LOSSACCOUNT

PROFIT AND LOSS ACCOUNT / 4th ACCOUNTING DIRECTIVE (Article 23)

6. Turnover 1. Net turnover 1. Net turnover

7. Variation in stocks 2. Variation in stock of finishedgoods and in work in progress

2. Variation in stocks of finished goods and in work in progress

8. Other operating income 3. Work performed by theundertaking for its own purposesand capitalized.4. Other operating income

3. Work performed by the undertaking for its own purposes and capitalized4. Other operating income

9. Costs of material andconsumables

5. (a) Raw materials andconsumables5. (b) Other external charges

5. (a) Raw materials and consumables5. (b) Other external charges

10. Other operating charges 8. Other operating charges 8. Other operating charges

11. Staff costs 6. Staff costs 6. (a) Wages and salaries6. (b) social security costs, with a separate indication of those relating to pensions

12. Gross operating profit Gross operating profit .

13. Depreciation and valueadjustments on non financialassets

7. Depreciation and valueadjustments on non financialassets

7. (a) Value adjustments in respect of formation expenses and of tangible and intangible fixed assets7. (b) Value adjustments in respect of current assets, to the extent that they exceed the amount of value adjustmentswhich are normal in the undertaking concerned

14. Net operating profit Gross operating profit - Depreciation and value adjustments on non-financial assets15. Financial income and valueadjustments on financial assets

Financial income and valueadjustments on financial assets

9. Income from participating interests10. Income from other investments and loans forming part of the fixed assets11. Other interest receivable and similar income12. Value adjustments in respect of financial assets and of investments held as current assets

16. Interest paid Interest paid 13. Interest payable and similar charges

17. Similar charges Similar Charges18. Profit or loss onordinary activities

Profit or loss on ordinaryactivities

15. Profit or loss on ordinary activities after taxation

19. Extraordinary income andcharges

Extraordinary income andcharges

16. Extraordinary income17. Extraordinary charges

20. Taxes on profits Taxes 14. Tax on profit or loss on ordinary activities19. Tax on extraordinary profit or loss20. Other taxes not shown under the above items

21. Profit or loss for thefinancial year

Profit or loss for the financialyear

21. Profit or loss for the financial year

contract preparation forms (cpf) and explanatory notes for

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